Nex Systems
Person

MICHAEL FRANCIS O'NEILL

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/13/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL FRANCIS O'NEILL (CRD No. 352958), Respondent. Disciplinary Proceeding No. E102003130804 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION September 13, 2006 Respondent is barred from associating with any NASD member in any capacity for paying commissions to an unregistered person, in violation of Conduct Rule 2110. Appearances Michael J. Newman and David B. Klafter, Woodbridge, NJ,

    Reference E102003130804data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number352958

Other names1

Also known as1

MICHAEL FRANCIS ONEILL

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